: They must have robust systems to ensure all parties follow applicable laws and standards, which protects investors from legal or reputational damage.
: Wholesalers, retailers, agents, and brokers (e.g., real estate or literary agents). intermediaries
: Financial intermediaries like banks provide secure places to store money, ensuring the safety of assets while offering depositors easy access via checks or cards. : They must have robust systems to ensure
: Data intermediaries act as neutral third parties that connect data holders with users. They must maintain structural separation to ensure they don't profit directly from the data they handle. : Data intermediaries act as neutral third parties
: Commercial banks, mutual funds, insurance companies, and stock exchanges.
: Online search engines, social networking services, and specialized data sharing platforms. Compliance Function at Market Intermediaries
: Innovation intermediaries stimulate collaboration by coordinating processes between different organizations that might otherwise struggle to work together due to cultural or capacity differences. Common Examples by Sector